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    Compliance Distribution Specialist - London, United Kingdom - Compliance Professionals

    Compliance Professionals
    Compliance Professionals London, United Kingdom

    3 days ago

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    Description

    THE COMPANY:
    Our client is a large international investment company, with $ trillions in AUM. They are looking to hire a Compliance Distribution Specialist to provide regulatory advice and guidance to the Business.


    THE RESPONSIBILITIES:
    Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the development of new compliance standards.

    Serve as an advisor to the business, and interfaces regularly with business area stakeholders and internal risk and compliance partners.

    Manage regulatory visits and inspections. Prepare written inspection and assessment reports and provides recommendations for improvement.
    Provide guidance to mitigate compliance risks and control gaps.
    Oversee the design, implementation, execution, and maintenance of compliance policies and procedures.
    Support the development of new compliance standards.
    Identify and implement corrective action plans for resolution of problematic issues. Recommend practices to reduce potential for violations and noncompliance.
    Manage operational efficiency. Set measurable goals leveraging internal and external resources accordingly. Report on the results of compliance and ethics initiatives of the business.
    Follow approved investigation procedures and report on corrective actions.
    Maintain a deep knowledge and awareness of the investment industry with particular focus on multi-asset solutions. Stay abreast of current market, regulatory and industry relevant news. Serve as an expert on compliance related issues. Act as a liaison to regulatory agencies.
    Participate in special projects and perform other duties as assigned.


    EXPERIENCE REQUIRED:

    Minimum of five years related work experience, with solid knowledge of distribution complianceAbility to stay on top of compliance policies and advise senior management and other stakeholders.

    Attention to detail and commitment to high quality and timely delivery. Ability to work with a high degree of autonomy and show initiative.
    For further information please contact Duncan Jeffery
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